SECURITIES AND EXCHANGE COMMISSION 17 CFR Chapter II [Release Nos. 33Ä7039, 34Ä23361, 35Ä25955, 39Ä2317, ICÄ19969, IAÄ1395; File No. S7Ä35Ä93] List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act AGENCY: Securities and Exchange Commission. ACTION: Publication of list of rules scheduled for review. SUMMARY: The Securities and Exchange Commission is today publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on them. DATES: Public comments are due by January 31, 1994. ADDRESSES: Persons wishing to submit written views should file three copies with Jonathan G. Katz, Secretary, Securities and Exchange Commission, 450 Fifth Street NW., room 6184, stop 6Ä9, Washington, DC 20549. All submissions should refer to File No. S7Ä35Ä93, and will be available for public inspection and copying at the Commission's Public Reference Room, room 1026, at the same address. FOR FURTHER INFORMATION CONTACT: The name of the individual to contact concerning a particular rule is given at the end of each rule grouping. SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act ("RFA'')1 requires that each agency review every ten years each of its rules that has a significant economic impact upon a substantial number of small entities. The purpose of the review is "to determine whether such rules should be continued without change, or should be amended or rescinded * * * to minimize any significant economic impact of the rules upon a substantial number of such small entities.''2 The RFA stipulates certain specific considerations that must be addressed in the review of each rule.3 The rules listed below are scheduled for review by staff of the Commission during the next twelve months. The rules are grouped according to which Division or Office of the Commission has responsibility for, and will review, each rule. ®1¯ Pub. L. No. 96Ä354, 94 Stat. 1165 (September 19, 1980). ®2¯ 5 U.S.C. 610(a). ®3¯ These considerations are (1) the continued need for the rule; (2) the nature of complaints or comments received concerning the rule from the public; (3) the complexity of the rule; (4) the extent to which the rule overlaps, duplicates or conflicts with other Federal rules, and, to the extent feasible, with State and local governmental rules; and (5) the length of time since the rule has been evaluated or the degree to which technology, economic conditions, or other factors have changed in the area affected by the rule. 5 U.S.C. 610(c). The Commission's 1993 Regulatory Flexibility Act Schedule of Rule Reviews is as follows: Rules and Forms To Be Reviewed by the Division of Corporation Finance Title: Regulation C (general rules governing registration under the Securities Act) Citation: 17 CFR 230.400Ä230.479; 230.490Ä496 Authority: 15 U.S.C. 77f; 77g; 77h; 77j; 77s; 78c; 78l; 78m; 78o; 78w; 79t; 77sss; 80aÄ37 Title: Form SÄ20 (for registration of standardized options) Citation: 17 CFR 239.20 Authority: 15 U.S.C. 77g; 77j; 77s; 78l; 78m; 78n; 78o Title: Rule 3b-2 (definition of "officer'') Citation: 17 CFR 240.3bÄ2 Authority: 15 U.S.C. 77c; 77d; 77s; 77ttt; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80aÄ37 Title: Rule 3bÄ6 (liability for certain statements by issuers) Citation: 17 CFR 240.3bÄ6 Authority: 15 U.S.C. 77c; 77d; 77f; 77g; 77h; 77s; 77ttt; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80a-37 Title: Rule 3b-7 (definition of "executive officer'') Citation: 17 CFR 240.3b-7 Authority: 15 U.S.C. 77c; 77d; 77s; 77ttt; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80a-29; 80a-37 Title: Regulation 12B (general registration and reporting rules under the Exchange Act) Citation: 17 CFR 240.12bÄ1 through 240.12bÄ36 Authority: 15 U.S.C. 77c; 77d; 77s; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80aÄ37 Title: Rule 12g-1 (exemption from section 12(g) of the Exchange Act) Citation: 17 CFR 240.12g-1 Authority: 15 U.S.C. 77c; 77d; 77s; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80a-29; 80a-37 Title: Rule 12gÄ2 (securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2) (A) or (B)) Citation: 17 CFR 240.12gÄ2 Authority: 15 U.S.C. 77c; 77d; 77s; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80aÄ37 Title: Rule 12gÄ4 (certifications of termination of registration under section 12(g)) Citation: 17 CFR 240.12gÄ4 Authority: 15 U.S.C. 77c; 77d; 77s; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80aÄ37 Title: Rule 12hÄ1 (exemptions from registration under section 12(g) of the Exchange Act) Citation: 17 CFR 240.12hÄ1 Authority: 15 U.S.C. 78c; 78l Title: Rule 13aÄ1 (requirements of annual reports) Citation: 17 CFR 240.13aÄ1 Authority: 15 U.S.C. 78l; 78m; 78o Title: Rule 13a-2 (annual reports of predecessors) Citation: 17 CFR 240.13a-2 Authority: 15 U.S.C. 77d; 77s; 78l; 78m; 78p; 78x Title: Regulation 13DÄG (reports filed by significant beneficial holders) Citation: 17 CFR 240.13d-1 through 240.13d-102 Authority: 15 U.S.C. 78c; 78m; 78w Title: Regulation 14D (tender offer rules and schedules) Citation: 17 CFR 240.14d-1 through 240.14d-101 Authority: 15 U.S.C. 77g; 77j; 77s; 78c; 78j; 78m; 78n; 78w; 79t; 77ttt; 80a-37 Title: Rule 15d-1 (requirements of annual reports) Citation: 17 CFR 240.15d-1 Authority: 15 U.S.C. 78l; 78m; 78o Title: Rule 15d-6 (suspension of duty to file reports) Citation: 17 CFR 240.15d-6 Authority: 15 U.S.C. 78l; 78m; 78o; 78w Title: Form 8ÄA (for registration of certain classes of securities pursuant to section 12(b) or (g) of the Exchange Act) Citation: 17 CFR 249.208a Authority: 15 U.S.C. 78m; 78o; 78w Title: Form 8ÄB (for registration of securities of certain successor issuers pursuant to section 12(b) or (g) of the Exchange Act) Citation: 17 CFR 249.208b Authority: 15 U.S.C. 78m; 78o; 78w Title: Form 18 (for foreign governments and political subdivisions thereof) Citation: 17 CFR 249.218 Authority: 15 U.S.C. 78l; 78m; 78n; 78o; 78w Title: Form 8ÄK (for current reports) Citation: 17 CFR 249.308 Authority: 15 U.S.C. 78m; 78o; 78w Title: Form 18ÄK (annual report for foreign governments and political subdivisions thereof) Citation: 17 CFR 249.318 Authority: 15 U.S.C. 78m; 78o; 78w Contact person: James R. Budge, Special Counsel, Office of Disclosure Policy, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street N.W., Washington, DC. 20549. Rules and Forms To Be Reviewed by the Division of Investment Management Title: Rule 0Ä1 (definition of terms) Citation: 17 CFR 270.0Ä1 Authority: 15 U.S.C. 80a-1 et seq.; 80a-37; 80a-39 Title: Rule 0Ä2 (general requirements of papers and applications) Citation: 17 CFR 270.0Ä2 Authority: 15 U.S.C. 77s; 78w; 79c; 79t; 77eee; 77ggg; 77nnn; 77sss; 80wÄ37; 80cÄ39; 80bÄ3; 80bÄ4; 80bÄ11; 80a37; 80cÄ89 Title: Rule 0Ä3 (amendments to registration statements and reports) Citation: 17 CFR 270.0Ä3 Authority: 15 U.S.C. 80a-8; 80a-29 Title: Rule 0Ä4 (incorporation by reference) Citation: 17 CFR 270.0Ä4 Authority: 15 U.S.C. 77s; 78m; 78o; 78w; 79t; 77eee; 77ggg; 77nnn; 77sss; 80aÄ38 Title: Rule 0Ä5 (procedure with respect to applications and other matters) Citation: 17 CFR 270.0Ä5 Authority: 15 U.S.C. 80a-1 et seq.; 80a-37; 80a-39 Title: Rule 0Ä8 (payment of fees) Citation: 17 CFR 270.0Ä8 Authority: 15 U.S.C. 77f.(b) and 77f.(c); 78ee Title: Rule 2a-7 (use of the amortized cost valuation and penny-rounding pricing methods by certain money market funds) Citation: 17 CFR 270.2a-7 Authority: 15 U.S.C. 80aÄ37; 80cÄ89; 80a-6c; 80a-22(c); 80a-37(a) Title: Rule 8bÄ1 (scope of section 270.8bÄ1 to 270.8bÄ32) Citation: 17 CFR 270.8bÄ1 Authority: 15 U.S.C. 80a-1 et seq.; 80a-37; 80a-39 Title: Rule 8bÄ2 (definitions) Citation: 17 CFR 270.8bÄ2 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ3 (title of securities) Citation: 17 CFR 270.8bÄ3 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ4 (interpretation of requirements) Citation: 17 CFR 270.8bÄ4 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ5 (time of filing original registration statement) Citation: 17 CFR 270.8bÄ5 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ6 (fee for registration) Citation: 17 CFR 270.8bÄ6 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ10 (requirements as to proper form) Citation: 17 CFR 270.8bÄ10 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ11 (number of copies; signatures; binding) Citation: 17 CFR 270.8bÄ11 Authority: 15 U.S.C. 77s; 80aÄ8; 80aÄ37 Title: Rule 8bÄ12 (requirements as to paper, printing and language) Citation: 17 CFR 270.8bÄ12 Authority: 15 U.S.C. 77s; 80aÄ8; 80aÄ37 Title: Rule 8bÄ13 (preparation of registration statement or report) Citation: 17 CFR 270.8bÄ13 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ14 (riders; inserts) Citation: 17 CFR 270.8bÄ14 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ15 (amendments) Citation: 17 CFR 270.8bÄ15 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ20 (additional information) Citation: 17 CFR 270.8bÄ20 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ21 (information unknown or not available) Citation: 17 CFR 270.8bÄ21 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ22 (disclaimer of control) Citation: 17 CFR 270.8bÄ22 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ23 (incorporation by reference) Citation: 17 CFR 270.8bÄ23 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ24 (summaries or outlines of documents) Citation: 17 CFR 270.8bÄ24 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ25 (extension of time for furnishing information) Citation: 17 CFR 270.8bÄ25 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ30 (additional exhibits) Citation: 17 CFR 270.8bÄ30 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ31 (omission of substantial identical documents) Citation: 17 CFR 270.8bÄ31 Authority: 15 U.S.C. 80aÄ1 et seq.; 80aÄ37; 80aÄ39 Title: Rule 8bÄ32 (incorporation of exhibits by reference) Citation: 17 CFR 270.8bÄ32 Authority: 15 U.S.C. 77s; 78m; 78o; 78w; 79t; 77eee; 77ggg; 77nnn; 77sss; 80aÄ38 Title: Rule 10fÄ3 (exemption of acquisition of securities during the existence of underwriting syndicate) Citation: 17 CFR 270.10fÄ3 Authority: 15 U.S.C. 30(a); 80aÄ37 Title: Rule 11a-1 (definition of "exchange'' for purposes of section 11 of the Investment Company Act of 1940) Citation: 17 CFR 270.11a-1 Authority: 15 U.S.C. 80a-11 Title: Rule 12b-1 (distribution of shares by registered open-end management investment company) Citation: 17 CFR 270.12b-1 Authority: 15 U.S.C. 80a-12(b); 80a-37(a) Title: Rule 13a-1 (exemption for change of status by temporarily diversified company) Citation: 17 CFR 270.13a-1 Authority: 15 U.S.C. 80a-1 et seq. Title: Rule 17d-3 (exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company) Citation: 17 CFR 270.17d-3 Authority: 15 U.S.C. 80a-17(d); 80a-38(a) Title: Rule 17f-1 (custody of securities with members of national securities exchanges) Citation: 17 CFR 270.17f-1 Authority: 15 U.S.C. 80a-1 et seq.; 80a-37; 80a-39 Title: Rule 17f-2 (custody of investments by registered management investment company) Citation: 17 CFR 270.17f-2 Authority: 15 U.S.C. 80a-1 et seq.; 80a-37; 80a-39 Title: Rule 17f-3 (free cash accounts for investment companies with bank custodians) Citation: 17 CFR 270.17f-3 Authority: 15 U.S.C. 80a-17(f) Title: Rule 17f-4 (deposits of securities in securities depositories) Citation: 17 CFR 270.17f-4 Authority: 15 U.S.C. 80a-17(f); 80a-37(a) Title: Rule 19b-1 (frequency of distribution of capital gains) Citation: 17 CFR 270.19b-1 Authority: 15 U.S.C. 80a-19(b) Title: Rule 22c-1 (pricing of redeemable securities for distribution, redemption and repurchase) Citation: 17 CFR 270.22c-1 Authority: 15 U.S.C. 80a-6(c); 80a-22(c); 80a-37(a) Title: Rule 32a-1 (exemption of certain companies from affiliation provisions of section 32(a)) Citation: 17 CFR 270.32a-1 Authority: 15 U.S.C. 80a-1 et seq. Title: Form NÄ1A (registration statement of open-end management investment companies) Citation: 17 CFR 274.11a Authority: 15 U.S.C. 77g; 77j; 77(s); 80a-8; 80a-29; 80a-37 Title: Form NÄ6F (notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940) Citation: 17 CFR 274.15 Authority: 15 U.S.C. 80a-6(f); 80a-37(a); 80a-53; 80a-58 Title: Form NÄ54A (notification of election to be subject through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act) Citation: 17 CFR 274.53 Authority: 15 U.S.C. 80a-6(f); 80a-37(a); 80a-53; 80a-58 Title: Form NÄ54C (notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Act) Citation: 17 CFR 274.54 Authority: 15 U.S.C. 80a-6(f); 80a-37(a); 80a-53; 80a-58 Title: Rule 203Ä1 (application for registration of investment adviser) Citation: 17 CFR 275.203Ä1 Authority: 15 U.S.C. 80b-3 Title: Rule 204Ä1 (amendments to application for registration) Citation: 17 CFR 275.204Ä1 Authority: 15 U.S.C. 78o(b)(1); 78w(a) Title: Form ADV (application for registration of investment adviser and for amendments to such registration statement) Citation: 17 CFR 279.1 Authority: 15 U.S.C. 80b-3 Title: Form ADV-S (annual report of registered advisers) Citation: 17 CFR 279.3 Authority: 15 U.S.C. 78o(b)(1); 78w(a) Title: Rule 110 (small entities for purposes of the Regulatory Flexibility Act) Citation: 17 CFR 250.110 Authority: 15 U.S.C. 79a et seq. Contact Person: Carolyn A. Miller, Senior Financial Analyst, Division of Investment Management, Securities and Exchange Commission, 450 Fifth Street NW., Washington, DC 20549, (202) 272Ä2762. Rules To Be Reviewed by the Division of Market Regulation Title: Rule 3b-9 (definition of "bank'' for purposes of Sections 3(a)(4) and (5) of the Exchange Act) Citation: 17 CFR 240.3b-9 Authority: 15 U.S.C. 77c; 77d; 77s; 77ttt; 78b; 78c; 78d; 78i; 78j; 78l; 78m; 78n; 78o; 78p; 78s; 78w; 78x; 79q; 79t; 80aÄ29; 80aÄ37 Title: Definitions (rule pertaining to transfer agents) Citation: 17 CFR 240.17AdÄ9 Authority: 15 U.S.C. 78qÄ1(a)(2) Title: Maintenance of Accurate Security Holder Files and Safeguarding of Funds and Securities by Registered Transfer Agents (rule pertaining to transfer agents) Citation: 17 CFR 240.17AdÄ10 Authority: 15 U.S.C. 78qÄ1(a)(2) Title: Reports Regarding Aged Record Differences, Buy-Ins and Failure to Post Certificate Detail to Master Securityholder and Subsidiary Files (rule pertaining to transfer agents) Citation: 17 CFR 240.17AdÄ11 Authority: 15 U.S.C. 78qÄ1(a)(2) Title: Safeguarding of Funds and Securities (rule pertaining to transfer agents) Citation: 17 CFR 240.17AdÄ12 Authority: 15 U.S.C. 78qÄ1(a)(2) Title: Annual Study and Evaluation of Internal Accounting Control (rule pertaining to transfer agents) Citation: 17 CFR 240.17AdÄ13 Authority: 15 U.S.C. 78qÄ1(a)(2) Contact Person: Andrew S. Margolin, Attorney, Division of Market Regulation, Securities and Exchange Commission, 450 Fifth Street NW., Washington, DC 20549, (202) 504Ä2418. Rules To Be Reviewed by the Office of the Chief Accountant Title: Article 3 of Regulation SÄX (general instructions as to financial statements) Citation: 17 CFR 210.3 Authority: 15 U.S.C. 77f; 77g; 77j; 77s(a); 77aa(25) to (26); 78l; 78m; 78o(d); 78w(a); 79e(b); 79n; 79t(a); 80aÄ8; 80aÄ29 Contact Person: Robert Burns, Chief Counsel, Office of the Chief Accountant, Securities and Exchange Commission, 450 Fifth Street NW., Washington, DC 20549, (202) 272Ä2130. Dated: December 21, 1993. By the Commission. Jonathan G. Katz, Secretary. [FR Doc. 93Ä31567 Filed 12Ä27Ä93; 8:45 am] BILLING CODE 8010Ä01ÄP